JS
Jodi S. Schultz
KEY INVESTMENT SERVICES LLC
Albany, NY 12205
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CRD#: 3050286
JS
Professional summary
Jodi Sherman Schultz, who also goes by Jodi F Sherman, Jodi Sherman, Jodi Sherman Schultz, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Albany, New York.
Jodi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jodi has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jodi F Sherman | Jodi Sherman | Jodi Sherman Schultz
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) JODI F SHERMAN DBA GET CRAFTY - POSITION: Sole NATURE: Hobby making crafts. DBA INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/26/2022 ADDRESS: 595 New Loudon RD, #261, Latham NY 12110, United States DESCRIPTION: Arts and crafts, Jewelry and wood products; 2) HISTORIC PASTURES CONDOMINIUM ASSOCIATION; NATURE: To be on the board of the condominium association and become treasurer. My son lives there. The deed is in both of our names. INVESTMENT RELATED: No NUMBER OF HOURS: 4; SECURITIES TRADING HOURS: 0; START DATE: 04/04/2025; ADDRESS: 2 Pine West Plaza, Suite 206, Albany NY 12205, United States; DESCRIPTION: Volunteer for the condominium association. Ensure compliance with standards and regulations. Monitor expenses to ensure they align with the budget. Work with the property managers and board members on budget.
CRS (Client Relationship Summary) - RIA
Click below to view Jodi Sherman Schultz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jodi Sherman Schultz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 26, 2021 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 95 Wolf Rd, Albany, NY 12205RIA
BD
CRD#: 136300
Albany, NY
Current
September 21, 2016 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 95 Wolf Rd, Albany, NY 12205RIA
BD
CRD#: 136300
Albany, NY
Past
May 18, 2012 - September 21, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ALBANY, NY
Past
October 26, 2006 - December 31, 2007
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
LATHAM, NY
Past
May 10, 2006 - May 15, 2012
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
LATHAM, NY
Past
June 18, 2004 - February 1, 2006
TD AMERITRADE, INC.
RIA
CRD#: 7870
ALBANY, NY
Past
November 10, 1998 - February 1, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New York(9/21/2016)
IAR
New York(3/26/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KEY INVESTMENT SERVICES LLC
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
RIA
Registered Investment Advisory firm - SEC (1/3/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road Oh-01-49-0215, Brooklyn, OH 44144
Phone number
(888) 547-2968
Established
Ohio since 06/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,131
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYBANC CAPITAL MARKETS INC. | SOLE OWNER | 566 |
| CALABRESE, GIUSEPPE NMN | CO-CEO/PRESIDENT | 5013231 |
| DOUCE, MARK IVAN | CHIEF COMPLIANCE OFFICER | 2959137 |
| GULLA, MATTHEW TODD | CHIEF ADMINISTRATIVE OFFICER | 3040637 |
| HOTZ, BURTON BRUCE NICHOLAS | CHIEF RISK OFFICER | 3025138 |
| JANOFSKY, PAULA MARIE | OPERATIONS OFFICER | 2882776 |
| KOVACHICK, MARK ALLAN | CHIEF FINANCIAL OFFICER/DIRECTOR | 5390571 |
| SCHMIDT, SOLOMON LEE | CO-CEO/PRESIDENT | 4404279 |
| SKARDA, JOSEPH BRIEL | HEAD OF KEY WEALTH MANAGEMENT | 4288186 |
| THEBERGE, JONATHAN MARC | CHIEF OPERATIONS OFFICER | 7722891 |
| WEICK, PAUL ALFRED II | CHIEF LEGAL OFFICER | 2286289 |
Regulatory assets under management
| Total Number of Accounts | 27,533 |
| AUM (Assets Under Management) | $ 6,107,213,206 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
